Investment Compliance as a Service
Outsource your investment compliance function with confidence. We take care of every aspect of investment compliance and provide a fully managed end-to-end service. From the automated monitoring of investment guidelines and the operation of your compliance platform to data integration and quality assurance, we manage the technology, processes and day-to-day operations – allowing you to focus on your core business.
OUTSOURCING
Your benefits
Investment compliance is becoming increasingly complex – from regulatory requirements and data management to operational execution. Many asset managers and financial institutions are challenged by fragmented system landscapes and resource-intensive manual processes. With our Investment Compliance as a Service offering, we provide a modern solution that goes far beyond traditional compliance software. We take full responsibility for your compliance operations, combining powerful technology with a comprehensive service model. The result is a robust, scalable and future-ready compliance framework – without the burden of managing systems, processes or day-to-day operations in-house.
Full service without overhead
We manage the systems, data and processes on your behalf, eliminating the need for dedicated infrastructure, internal resources or complex integration projects.
Consolidated expertise
Our specialists combine deep market knowledge with extensive experience in investment compliance. We bring cross-border expertise and support you in navigating and implementing regulatory requirements across multiple jurisdictions.
Market insights & best practices
Our broad client base across the German-speaking market enables us to continuously incorporate industry best practices into our services. You benefit from proven approaches, practical expertise and a strong understanding of market requirements.
Security & regulatory currency
We ensure that your investment compliance framework remains aligned with evolving regulatory requirements at all times through continuous enhancements, regular updates and the proactive maintenance of your rule sets.
Holistic service
At Profidata, we consolidate all relevant data types – from reference and transaction data to valuation and market data – within a single, consistent data foundation. Any data source can be integrated into the platform. Based on this centralised data model, your investment guidelines are monitored automatically and continuously. This enhances transparency, reduces operational risk and helps build trust with your clients.
Full service without overhead
We manage the systems, data and processes on your behalf, eliminating the need for dedicated infrastructure, internal resources or complex integration projects.
Consolidated expertise
Our specialists combine deep market knowledge with extensive experience in investment compliance. We bring cross-border expertise and support you in navigating and implementing regulatory requirements across multiple jurisdictions.
Market insights & best practices
Our broad client base across the German-speaking market enables us to continuously incorporate industry best practices into our services. You benefit from proven approaches, practical expertise and a strong understanding of market requirements.
Security & regulatory currency
We ensure that your investment compliance framework remains aligned with evolving regulatory requirements at all times through continuous enhancements, regular updates and the proactive maintenance of your rule sets.
Holistic service
At Profidata, we consolidate all relevant data types – from reference and transaction data to valuation and market data – within a single, consistent data foundation. Any data source can be integrated into the platform. Based on this centralised data model, your investment guidelines are monitored automatically and continuously. This enhances transparency, reduces operational risk and helps build trust with your clients.
CLIENT SERVICES
We take care of your compliance
With Investment Compliance as a Service, you establish the foundation for a scalable, secure and future-ready compliance operating model. By automating key processes, manual effort is reduced and operational risks are minimised. Compliance breaches can be identified more quickly and accurately, while a consistent and high-quality data foundation is maintained at all times.
This significantly reduces the burden on internal resources and creates greater capacity for strategic initiatives. At the same time, transparent, auditable and reliable compliance processes help strengthen the confidence of management, regulators and investors alike.
Service areas
Pre-trade compliance
Automated validation of investment decisions before execution, helping to prevent breaches at an early stage and proactively manage compliance risks.
Post-trade compliance
Continuous monitoring of portfolios and investment limits, including the immediate detection and management of compliance breaches.
Rule coding
Implementation and ongoing maintenance of complex investment guidelines across multiple funds, mandates and jurisdictions.
Data integration
Seamless integration of reference, transaction, valuation and market data from a wide range of data providers – ensuring consistent and reliable compliance monitoring.
Monitoring & reporting
Intuitive user interfaces for monitoring and breach management, complemented by comprehensive reporting and fully auditable trails, providing maximum transparency for compliance teams and regulatory oversight.
Knowledge sharing
Investment compliance is a dynamic discipline that benefits from continuous exchange and collaboration. Through expert events, user groups and industry forums, you stay informed about the latest regulatory developments and market trends.
Insights
FAQs
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Our Investment Compliance Services
The next step
Interested in learning more about Investment Compliance as a Service? Speak with one of our experts and discover our solutions.
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